Search for: "Financial Industry Regulatory Authority"
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4 Jan 2018, 9:44 am
According to records kept by The Financial Industry Regulatory Authority (FINRA) Wilson has been accused by a customers of unsuitable investment advice concerning various investment products including energy stocks that likely include master limited partnerships (MLPs). [read post]
3 Jan 2018, 1:44 pm
In a recent Financial Industry Regulatory Authority (“FINRA”) arbitration proceeding, RBC Capital Markets and its broker Bruce Cameron were ordered to pay a former client $723,000 for losses sustained from investing in MLPs. [read post]
3 Jan 2018, 10:10 am
The Financial Industry Regulatory Authority (FINRA) once again has forced Citigroup to pay at least $11.5 million in fines and restitution due to claims that it displayed the wrong research ratings on more than 1,800 stocks. [read post]
2 Jan 2018, 5:08 pm
As of December 29, 2017, there were 143 federal court judicial vacancies, representing about 16% of the authorized federal judgeships. [read post]
2 Jan 2018, 6:59 am
According to BrokerCheck records kept by the Financial Industry Regulatory Authority (FINRA), broker Clifford Vatter (Vatter) has received six customer complaints. [read post]
2 Jan 2018, 6:58 am
According to BrokerCheck records, Elaine LaCerte (LaCerte), also known as Elaine Diones and Elaine Diones Helzer, was suspended by the Financial Industry Regulatory Authority (FINRA) in August 2017. [read post]
2 Jan 2018, 6:57 am
According to records kept by The Financial Industry Regulatory Authority (FINRA), former Capitol Securities Management (Capitol Securities) employee Teryl Trenchard (Trenchard) in under investigation for fraud. [read post]
1 Jan 2018, 9:30 pm
Although different regulatory authorities have different missions, everywhere they work to create, issue, and enforce regulations—that is, rules “backed up by consequences. [read post]
1 Jan 2018, 9:20 pm
” This series in The Regulatory Review includes nine essays authored by our writers and editors, each focused on a separate chapter in Achieving Regulatory Excellence. [read post]
1 Jan 2018, 5:54 am
The Financial Industry Regulatory Authority (FINRA ) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
31 Dec 2017, 1:46 pm
Sign up for free email updates at http://cpaclick.com/4alerts (27) @DonnaLCPA – Donna Laubscher – Tax CPA, especially fond of Form 1040; avid outside-of-tax-season reader, live theater, baseball & football spectator; iced tea addict (hydrate in the desert) (28) @HowardGinsburg – CPA, Tax, Financial & Accounting Services. [read post]
29 Dec 2017, 12:31 pm
Citigroup Global Markets Reportedly displayed inaccurate research ratings According to the Financial Industry Regulatory Authority, the regulator fined Citigroup Global Markets Inc. $5.5 million on Thursday and required the firm to pay at least $6 million in compensation to retail customers for displaying inaccurate research ratings for numerous equity securities. [read post]
29 Dec 2017, 7:51 am
The Financial Industry Regulatory Authority (FINRA ) operates the largest securities dispute resolution forum in the United States, and has extensive experience in providing a fair, efficient and effective venue to handle a securities-related dispute. [read post]
29 Dec 2017, 2:55 am
This is an update of Stockbrokers Sue Customer Over Unpaid Margin Debit" (BrokeAndBroker.com Blog, July 16, 2015) 2015 Case In PointIn a Financial Industry Regulatory Authority (“FINRA”) Arbitration Statement of Claim filed in December 2014, three associated persons alleged that public customer Wijk had failed to repay a debit balance that purportedly arose after he had traded an unspecified stock on margin and, thereafter, failed to repay the… [read post]
28 Dec 2017, 11:00 am
With a new year upon us, the Financial Industry Regulatory Authority reminds the investing public to do its homework concerning Class A, B, and C mutual fund shares. [read post]
28 Dec 2017, 9:03 am
JP Morgan Reportedly Violated Customer Protection Rule According to the Financial Industry Regulatory Authority (FINRA) today, the regulator has fined J.P. [read post]
28 Dec 2017, 7:47 am
Last week, Merrill Lynch was fined a total of $26 million by the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA) alleging failures in reporting “suspicious” transactions, according to documentation obtained by Reuters. [read post]
27 Dec 2017, 12:50 pm
Tinder According to the Financial Industry Regulatory Authority, the regulator has permanently barred Jed E. [read post]
27 Dec 2017, 12:32 pm
A Financial Industry Regulatory Authority (FINRA) arbitration panel awarded $462,000 to former clients of Charles Fackrell, a former LPL broker serving prison time currently. [read post]
27 Dec 2017, 11:17 am
According to reports, in February 2016, Financial Industry Regulatory Authority barred Chicago broker, George Johnson, for allegedly manipulating the stock price of IceWEB Inc. for personal gain. [read post]
